Panel orders penalties for disgorgment and deterrence
Firms allegedly made misleading statements about their use of AI in investing strategies
Crypto lending program amounted to unregistered securities offering, regulator charged
SRO brings first case following compliance review targeting firms' use of online influencers
Industry and advocates say more work is needed
CSA’s proposal to empower OBSI elicits wave of criticism
Pump-and-dump scheme used high-pressure cold calls, targeted seniors
Environment, executive compensation and governance issues highlight the big banks' upcoming proxy season
Serving as a client's executor totally incompatible with rep's role, panel says
Regulator withdrew certain allegations, and a hearing panel rejected others